DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
U.S. Bancorp Advisors, LLC
Latest filing Jul 31, 2026
First filing on the tape Feb 2, 2012 · 96 filings
SEC status approved since Aug 14, 2009
RAUM
$1.8B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$1.7B individuals and HNW
Advisors
1,160
registered through the firm on IAPD
RAUM per advisor
$1.5M
derived; firm RAUM over IAPD count
Employees
379
141 advisory (5.B.1)
Offices
174
beyond the principal office
Private funds
0
reported on Schedule D
History
96 filings and snapshots on the tape
RAUM$1.8B as of Jul 31, 2026
Mar 30, 2012$320M then
HNW client RAUM$567M as of Jul 31, 2026
Mar 30, 2018$346M then
State-registered IARs (5.B.3)174 as of Jul 31, 2026
Apr 1, 2013284 then
Employees (5.A)379 as of Jul 31, 2026
Apr 1, 2013728 then
Private funds: no history
RAUM +18% over the last fiscal year+6.8% a year over threeIARs 126 to 174offices 147 to 174
Practice profile
derived from the filing of Jul 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $1.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $449,917derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 6.6derived175 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +38%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.8BreportedItem 5.I
- Custody
- $1.8B, 3,347 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.1B62%
- High-net-worth individuals$567M32%
- Corporations and businesses$83.7M4.7%
- Pension and profit-sharing plans$25.5M1.4%
- Charitable organizations$2.1M0.1%
- Individual clients
- 2,809reported
- HNW clients
- 436reported
- Pension plan clients
- 25reported
- Charitable clients
- n/areported
- Accounts
- 3,992reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $104M sponsored, $0 managedreported
- Custody of client assets
- $1.8B for 3,347 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=274.0derived
Advisors registered through the firm
1,159 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gilbert Chavez Melgoza | San Carlos, Ca | Nov 9, 2000 | 33 y | 0 |
| Roberto Salazar | Glendale, Ca | Nov 9, 2000 | 30 y | 0 |
| Brandon Scott KellyCertified Financial Planner | Tustin, Ca | Mar 15, 2002 | 28 y | 0 |
| Brandon Stuart Linster | Encinitas, Ca | Sep 6, 2002 | 27 y | 0 |
| Wendy L Wong | San Francisco, Ca | Aug 6, 2003 | 26 y | 0 |
| Joice Victoria Lee | San Francisco, Ca | Oct 31, 2003 | 28 y | 0 |
| Andrew Tung Tran | Huntington Beach, Ca | Jan 20, 2005 | 28 y | 2 |
| Yekaterina Tervinsky | Beverly Hills, Ca | Jan 10, 2007 | 22 y | 1 |
| Marvin Kang | Irvine, Ca | May 2, 2007 | 22 y | 1 |
| Jennifer Ho-Chung Jung | Glendale, Ca | May 22, 2007 | 21 y | 1 |
| Edward Eugene Herrera | Los Angeles, Ca | Sep 20, 2007 | 22 y | 1 |
| Roger Romero Szendrey | Irvine, Ca | Apr 17, 2008 | 29 y | 3 |
| Patricia Marie Schlee | Glendale, Ca | May 6, 2008 | 33 y | 0 |
| Juan Gabriel Villavicencio | Glendale, Ca | Jul 1, 2008 | 30 y | 0 |
| Steven Craig Baumhoff | San Francisco, Ca | Jul 28, 2008 | 26 y | 0 |
| Daniel Cesar Caneva | Glendale, Ca | Aug 22, 2008 | 36 y | 2 |
| Damian Siegfried Mossbarger | Tustin, Ca | Nov 7, 2008 | 27 y | 1 |
| Michael Steven Padilla | Los Angeles, Ca | May 20, 2009 | 33 y | 2 |
| Darlene Flores SwatikCertified Financial Planner, Chartered Financial Consultant | Torrance, Ca | Aug 5, 2009 | 25 y | 3 |
| Sharon Donna Azgour | Montebello, Ca | Aug 10, 2009 | 30 y | 1 |
| Serpouhi Susan Karamanoukian | Glendale, Ca | Oct 30, 2009 | 21 y | 2 |
| William Richard Nolan | Brea, Ca | Jan 14, 2010 | 32 y | 0 |
| Claudia Mata | Coronado, Ca | Apr 27, 2010 | 21 y | 1 |
| Ronald Lawrence Rigsby | Cerritos, Ca | May 13, 2010 | 29 y | 3 |
| Evan Fredrick SeiblyCertified Financial Planner | Glendale, Ca | Jun 15, 2010 | 18 y | 2 |
| Victor Hugo Hernandez | Indio, Ca | Jul 23, 2010 | 30 y | 1 |
| Jose De La Torre Ojeda | Highland, Ca | Jul 29, 2010 | 22 y | 2 |
| Rina Ester Saldana | Cerritos, Ca | Oct 25, 2011 | 15 y | 0 |
| Kelly Marie Lind | Riverside, Ca | Jan 6, 2012 | 23 y | 2 |
| Brooke Kristen Bordner | Fresno, Ca | Jan 27, 2012 | 20 y | 0 |
| Lara Jane Deutchman | Los Angeles, Ca | May 18, 2012 | 25 y | 4 |
| Eugene Min Lee | Glendale, Ca | May 25, 2012 | 18 y | 3 |
| Hajime James Sakiyama | Tustin, Ca | Jul 20, 2012 | 28 y | 4 |
| Seana Chung | Glendora, Ca | Sep 12, 2012 | 26 y | 1 |
| Daniel Rayhim Babai | Montecito, Ca | Aug 6, 2013 | 25 y | 2 |
| Boo Young Song | Seattle, Wa | Oct 24, 2013 | 21 y | 2 |
| Robert Grant Forys | Seattle, Wa | Oct 31, 2013 | 24 y | 4 |
| Eric Paul Abbe | Chatsworth, Ca | Jul 16, 2014 | 21 y | 1 |
| David Inhyuk Lee | Arcadia, Ca | Nov 25, 2014 | 24 y | 3 |
| Parviz Tahsini | Glendale, Ca | Mar 27, 2015 | 28 y | 1 |
Advisor movement
33 left, 77 joined in 12 months
net +44 in 12 months11 left in 90 days28 joined in 90 daysdeparture rate 2.8% of current headcount57 left over 36 months
Left, latest
- Jason Oliver Will to LPL Enterprise, LLCSep 15, 2026 · Affiliated broker-dealer or bank to another
- Zachary Alan Karason to LPL Enterprise, LLCAug 12, 2026 · Affiliated broker-dealer or bank to another
- Charles Philip Staples to Raymond James Financial Services Advisors, IncAug 12, 2026 · Affiliated broker-dealer or bank to another
- Teresa Lynn De La Torre to LPL Financial LLCAug 7, 2026 · Affiliated broker-dealer or bank to another
- Erich Stabelfeldt to Huntington Financial AdvisorsAug 6, 2026 · Affiliated broker-dealer or bank to another
- Esperanza Martinez to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 30, 2026 · Affiliated broker-dealer or bank to wirehouse
- Jose Nelson Cuellar to Fisher InvestmentsJul 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- Ross Bentley Hansen to LPL Financial LLCJul 14, 2026 · Affiliated broker-dealer or bank to another
- Roy Chia Jen Lin to RBC Securities, Inc.Jul 6, 2026 · Affiliated broker-dealer or bank to another
- Sara Marie Ruby to J.P. Morgan Securities LLCJun 29, 2026 · Affiliated broker-dealer or bank to wirehouse
- Kevin Michael Fitzpatrick to Vanguard Advisers, Inc.Jun 22, 2026 · Affiliated broker-dealer or bank to another
- Donald Rex Calvert to Raymond James Financial Services Advisors, IncJun 16, 2026 · Affiliated broker-dealer or bank to another
- Stephen Robert Spence to Nfsg CorporationJun 10, 2026 · Affiliated broker-dealer or bank to another
- Degar Ro to Morgan StanleyJun 8, 2026 · Affiliated broker-dealer or bank to wirehouse
- Owen Keith Farnsworth to Pfg AdvisorsJun 5, 2026 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Marsella Burboa from Strategic Advisers LLCSep 10, 2026 · Affiliated broker-dealer or bank to another
- Samuel G Moscatelli from Northwestern Mutual Investment Services,LLCSep 8, 2026 · Other
- Tarissa Sharene Cardoso from J.P. Morgan Securities LLCSep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- Sigita Baker from Svb WealthSep 3, 2026 · RIA to affiliated broker-dealer or bank
- Michael Joseph Spedale from Vanguard Advisers, Inc.Sep 1, 2026 · Affiliated broker-dealer or bank to another
- Brian Scott Felton from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 31, 2026 · Wirehouse to affiliated broker-dealer or bank
- Raymond Khechumyan from LPL Financial LLCAug 19, 2026 · Affiliated broker-dealer or bank to another
- Steven Douglas Israel from J.P. Morgan Securities LLCAug 18, 2026 · Wirehouse to affiliated broker-dealer or bank
- Matti Birge Gordon from Truist Advisory Services, Inc.Aug 18, 2026 · Affiliated broker-dealer or bank to another
- Sergey Tigranovich Poghosyan from Wells Fargo AdvisorsAug 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Russell Lewis Hansen from Key Investment Services LLCAug 10, 2026 · Affiliated broker-dealer or bank to another
- Reed Mells from Ameriprise Financial Services, LLCAug 3, 2026 · Affiliated broker-dealer or bank to another
- Matthew Lincoln Mogush from SeiaJul 29, 2026 · Affiliated broker-dealer or bank to another
- Devon Russell Rogers from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 27, 2026 · Wirehouse to affiliated broker-dealer or bank
- Elizabeth Ruth Mccaffrey from Raymond James Financial Services Advisors, IncJul 24, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for U.S. Bancorp Investments, Inc.Nov 4, 2024 · Phoenix, Az
- 3 left for LPL Financial LLCNov 4, 2024 · San Diego, Ca
- 39 left for U.S. Bancorp Investments, Inc.May 31, 2023 · San Francisco, Ca
- 2 left for U.S. Bancorp Investments, Inc.May 31, 2023 · Bellevue, Wa
- 2 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 8, 2023 · Sunnyvale, Ca
- 2 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 29, 2022 · Tustin, Ca
- 2 left for Morgan StanleyMay 6, 2022 · San Jose, Ca
- 2 left for Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 19, 2022 · Thousand Oaks, Ca
- 2 joined from Wells Fargo AdvisorsMay 25, 2026 · Wayzata, Mn
- 7 joined from U.S. Bancorp Investments, Inc.Apr 7, 2026 · Woodbury, Mn · Firm absorbed
- 2 joined from J.P. Morgan Securities LLCMay 26, 2025 · Long Beach, Ca
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 4, 2025 · Los Angeles, Ca
- 2 joined from Wells Fargo AdvisorsFeb 24, 2022 · Woodland Hills, Ca
- 2 joined from Charles Schwab & Co., Inc.Jun 21, 2021 · Phoenix, Az
- 2 joined from U.S. Bancorp Investments, Inc.Mar 25, 2019 · San Diego, Ca
- 2 joined from J.P. Morgan Securities LLCJan 25, 2017 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Carlos Alonso Arias · Managercontrolsince 02/2026 · owns less than 5%
- Eileen Bejasa · Managercontrolsince 02/2026 · owns less than 5%
- Daniel Cesar Caneva · President/Ceo & Chief Operations Officercontrolsince 05/2024 · owns less than 5%
- Shannon Keith Clark · Chief Financial Officercontrolsince 05/2023 · owns less than 5%
- James Eugene Jr. Ely · Senior Vice President - Salescontrolsince 07/2023 · owns less than 5%
- Kimberly Nicole Ferguson · Managercontrolsince 02/2026 · owns less than 5%
- Joel Ira Floum · Managercontrolsince 02/2026 · owns less than 5%
- Milan Konkol · Chief Compliance Officercontrolsince 03/2000 · owns less than 5%
- Beth Dedrick Lawlor · Executive Vice Presidentcontrolsince 02/2024 · owns less than 5%
- Eileen Renee Menacher · Managercontrolsince 02/2026 · owns less than 5%
- Jodi Thompson Rolland · President, Chief Executive Officer And Managercontrolsince 02/2026 · owns less than 5%
- Kyle Norman Salstrom · Chief Compliance Officer And Managercontrolsince 02/2026 · owns less than 5%
- Stephen Ward Steiner · Chief Operations Officer And Managercontrolsince 02/2026 · owns less than 5%
- Shane T Triplett · Manager And Managercontrolsince 02/2026 · owns less than 5%
- Matthew Ryan Mccarthy · Chief Legal Officersince 02/2026 · owns less than 5%
Entity owners
- U.S. Bancorp · Sole Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- U.S. Bancorp Investments, Inc.broker-dealerinvestment adviserreal estatenRAUM $23B
- U.S. Bank National Associationbroker-dealern
Advisers that list U.S. Bancorp Advisors, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saint Paul, Mn · principal | 145 | 127 | 1 | ||
| Cincinnati, Oh | 40 | 40 | 0 | ||
| Minneapolis, Mn | 34 | 30 | 0 | ||
| San Diego, Ca | 26 | 22 | 3 | ||
| Portland, Or | 23 | 23 | 0 | ||
| Seattle, Wa | 22 | 19 | 0 | ||
| Tempe, Az | 21 | 13 | 1 | ||
| Glendale, Ca | 21 | 6 | 2 | ||
| Milwaukee, Wi | 20 | 20 | 0 | ||
| Chicago, Il | 19 | 19 | 0 | ||
| Denver, Co | 18 | 18 | 1 | ||
| Los Angeles, Ca | 17 | 10 | 0 | ||
| Gresham, Or | 17 | 17 | 1 | ||
| Irvine, Ca | 16 | 11 | 0 | ||
| San Francisco, Ca | 15 | 11 | 0 | ||
| Madison, Wi | 13 | 13 | 0 | ||
| Saint Louis, Mo | 13 | 12 | 0 | ||
| Vancouver, Wa | 13 | 13 | 0 | ||
| Beverly Hills, Ca | 13 | 8 | 0 | ||
| Phoenix, Az | 11 | 10 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tempe, AZ19 employees
- San Francisco, CA7 employees
- Glendale, CA6 employees
- Palm Desert, CA4 employees
- Irvine, CA4 employees
- San Diego, CA4 employees
- Tustin, CA4 employees
- Beverly Hills, CA4 employees
- Glendora, CA3 employees
- Chula Vista, CA3 employees
- Coronado, CA3 employees
- Chula Vista, CA3 employees
- Tustin, CA3 employees
- National City, CA3 employees
- Irvine, CA3 employees
- Chula Vista, CA3 employees
- Seattle, WA3 employees
- Newport Beach, CA2 employees
- Gardena, CA2 employees
- Manhattan Beach, CA2 employees
- Los Angeles, CA2 employees
- Studio City, CA2 employees
- Irvine, CA2 employees
- Tustin, CA2 employees
- Torrance, CA2 employees
ADV anomalies
14 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 31, 2026STEINER, STEPHEN WARD (CHIEF OPERATIONS OFFICER AND MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026ROLLAND, JODI THOMPSON (PRESIDENT, CHIEF EXECUTIVE OFFICER AND MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026FLOUM, JOEL IRA (MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026ARIAS, CARLOS ALONSO (MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026FERGUSON, KIMBERLY NICOLE (MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026MENACHER, EILEEN RENEE (MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026SALSTROM, KYLE NORMAN (CHIEF COMPLIANCE OFFICER AND MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026BEJASA, EILEEN (MANAGER) appeared on Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026CANEVA, DANIEL CESAR (PRESIDENT/CEO & CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026ELY, JAMES EUGENE JR. (SENIOR VICE PRESIDENT - SALES) left Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026KONKOL, MILAN (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026LAWLOR, BETH DEDRICK (EXECUTIVE VICE PRESIDENT) left Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Jul 31, 2026CLARK, SHANNON KEITH (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-03-29 and 2026-07-31peers: affiliated wealth managers, $1B to $5B (56)
- employee count surgeChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 244.0 to 379.0 (+55.0%) between the annual amendments of 2025-04-04 and 2026-03-31; the peer median change was +1.0% (52 comparable advisers, 96.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 3,905 to 3,992Feb 16, 2026 to Mar 31, 2026
- Advisory employees · 126 to 141Feb 16, 2026 to Mar 31, 2026
- BD registered reps · 188 to 274Feb 16, 2026 to Mar 31, 2026
- Corporate clients · 67 to 73Feb 16, 2026 to Mar 31, 2026
- HNW clients · 384 to 436Feb 16, 2026 to Mar 31, 2026
- Individual clients · 2,802 to 2,809Feb 16, 2026 to Mar 31, 2026
- Pension plan clients · 26 to 25Feb 16, 2026 to Mar 31, 2026
- Assets in custody · $1.5B to $1.8BFeb 16, 2026 to Mar 31, 2026
- Employees · 244 to 379Feb 16, 2026 to Mar 31, 2026
- Insurance-licensed employees · 0 to 61Feb 16, 2026 to Mar 31, 2026
- State-registered IARs · 126 to 174Feb 16, 2026 to Mar 31, 2026
- Other offices · 1,790 to 174Feb 16, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.7BFeb 16, 2026 to Mar 31, 2026
- HNW RAUM · $418M to $567MFeb 16, 2026 to Mar 31, 2026
- Individual RAUM · $992M to $1.1BFeb 16, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $99.2M to $104MFeb 16, 2026 to Mar 31, 2026
- Pension RAUM · $26.0M to $25.5MFeb 16, 2026 to Mar 31, 2026
- RAUM · $1.5B to $1.8BFeb 16, 2026 to Mar 31, 2026
- Wrap assets (manager) · $250M to $0Feb 16, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $0 to $104MFeb 16, 2026 to Mar 31, 2026
- Advisory activities · 3 to 4Dec 12, 2025 to Feb 16, 2026
- HQ city · GLENDALE to SAINT PAULDec 12, 2025 to Feb 16, 2026
- HQ state · CA to MNDec 12, 2025 to Feb 16, 2026
- Other offices · 147 to 1,790Dec 12, 2025 to Feb 16, 2026
- Financial planning clients · 0 to 0Apr 4, 2025 to Oct 31, 2025
- Accounts · 3,901 to 3,905Jun 10, 2024 to Apr 4, 2025
- Advisory employees · 133 to 126Jun 10, 2024 to Apr 4, 2025
- BD registered reps · 160 to 188Jun 10, 2024 to Apr 4, 2025
- Charity clients · 4.0 to unsetJun 10, 2024 to Apr 4, 2025
- Corporate clients · 72 to 67Jun 10, 2024 to Apr 4, 2025
- HNW clients · 341 to 384Jun 10, 2024 to Apr 4, 2025
- Individual clients · 2,839 to 2,802Jun 10, 2024 to Apr 4, 2025
- Pension plan clients · 30 to 26Jun 10, 2024 to Apr 4, 2025
- Assets in custody · $1.4B to $1.5BJun 10, 2024 to Apr 4, 2025
- Employees · 238 to 244Jun 10, 2024 to Apr 4, 2025
- State-registered IARs · 133 to 126Jun 10, 2024 to Apr 4, 2025
- Other offices · 203 to 147Jun 10, 2024 to Apr 4, 2025
- Discretionary RAUM · $1.3B to $1.4BJun 10, 2024 to Apr 4, 2025
- HNW RAUM · $366M to $418MJun 10, 2024 to Apr 4, 2025
- Individual RAUM · $914M to $992MJun 10, 2024 to Apr 4, 2025
Signals
60 dated events
- Bryon Robert Joseph Pyles no longer holds an investment adviser registration (last listed at U.S. Bancorp Advisors, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Jodi Thompson Rolland no longer holds an investment adviser registration (last listed at U.S. Bancorp Advisors, Llc on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Jason Oliver Will left U.S. Bancorp Advisors, LLC for LPL Enterprise, LLC (registered 2026-09-14)Sep 15, 2026 · Advisor changed firm · fact
- Alex Imer Lopez no longer holds an investment adviser registration (last listed at U.S. Bancorp Advisors, Llc on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Charles Philip Staples left U.S. Bancorp Advisors, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-08-13)Aug 12, 2026 · Advisor changed firm · fact
- Zachary Alan Karason left U.S. Bancorp Advisors, Llc for Lpl Enterprise, Llc (registered 2026-08-10)Aug 12, 2026 · Advisor changed firm · fact
- Teresa Lynn De La Torre left U.S. Bancorp Advisors, Llc for Lpl Financial Llc (registered 2026-08-05)Aug 7, 2026 · Advisor changed firm · fact
- Erich Stabelfeldt left U.S. Bancorp Advisors, Llc for Huntington Financial Advisors (registered 2026-08-20)Aug 6, 2026 · Advisor changed firm · fact
- Esperanza Martinez left U.S. Bancorp Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-18)Jul 30, 2026 · Advisor changed firm · fact
- Jose Nelson Cuellar left U.S. Bancorp Advisors, Llc for Fisher Investments (registered 2026-08-11)Jul 23, 2026 · Advisor changed firm · fact
- Ross Bentley Hansen left U.S. Bancorp Advisors, Llc for Lpl Financial Llc (registered 2026-07-13)Jul 14, 2026 · Advisor changed firm · fact
- Roy Chia Jen Lin left U.S. Bancorp Advisors, Llc for Rbc Securities, Inc. (registered 2026-07-09)Jul 6, 2026 · Advisor changed firm · fact
- Sara Marie Ruby left U.S. Bancorp Advisors, Llc for J.P. Morgan Securities Llc (registered 2026-07-14)Jun 29, 2026 · Advisor changed firm · fact
- Kevin Michael Fitzpatrick left U.S. Bancorp Advisors, Llc for Vanguard Advisers, Inc. (registered 2026-07-28)Jun 22, 2026 · Advisor changed firm · fact
- Donald Rex Calvert left U.S. Bancorp Advisors, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-06-15)Jun 16, 2026 · Advisor changed firm · fact
- Stephen Robert Spence left U.S. Bancorp Advisors, Llc for Nfsg Corporation (registered 2026-07-23)Jun 10, 2026 · Advisor changed firm · fact
- Degar Ro left U.S. Bancorp Advisors, Llc for Morgan Stanley (registered 2026-06-16)Jun 8, 2026 · Advisor changed firm · fact
- Owen Keith Farnsworth left U.S. Bancorp Advisors, Llc for Pfg Advisors (registered 2026-06-10)Jun 5, 2026 · Advisor changed firm · fact
- Ashley Lauren Mleczko left U.S. Bancorp Advisors, Llc for Lpl Financial Llc (registered 2026-06-22)Jun 1, 2026 · Advisor changed firm · fact
- Parand R Baillie left U.S. Bancorp Advisors, Llc for Pnc Wealth Management (registered 2026-06-25)May 29, 2026 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Wayzata, MN) for U.S. Bancorp Advisors, LLC within 14 daysMay 25, 2026 · Team lift-out · derived
- John Matthew Pugsley left U.S. Bancorp Advisors, Llc for State Farm Investment Management Corp. (registered 2026-07-31)May 22, 2026 · Advisor changed firm · fact
- Dillon Miller left U.S. Bancorp Advisors, Llc for J.P. Morgan Securities Llc (registered 2026-04-22)Apr 20, 2026 · Advisor changed firm · fact
- Cynthia Alexandra Jackson left U.S. Bancorp Advisors, Llc for U.S. Bancorp Investments, Inc. (registered 2026-03-09)Apr 17, 2026 · Advisor changed firm · fact
- Trenton Paul Thelen left U.S. Bancorp Advisors, Llc for Ubs Financial Services Inc. (registered 2026-04-10)Apr 16, 2026 · Advisor changed firm · fact
- Vartges Mark Markarian left U.S. Bancorp Advisors, Llc for J.P. Morgan Securities Llc (registered 2026-04-20)Apr 15, 2026 · Advisor changed firm · fact
- Kristian Carr Forster left U.S. Bancorp Advisors, Llc for Lpl Financial Llc (registered 2026-04-15)Apr 15, 2026 · Advisor changed firm · fact
- U.S. Bancorp Investments, Inc.'s advisors moved to U.S. Bancorp Advisors, LLC (Saint Paul, MN): 8 of 10 registered, within 3 daysApr 7, 2026 · Firm absorbed (people side) · derived
- Justin John Mueller left U.S. Bancorp Advisors, Llc for Rbc Capital Markets, Llc (registered 2026-04-06)Mar 31, 2026 · Advisor changed firm · fact
- U.S. Bancorp Advisors, Llc reported 174 state-registered advisory representatives, up from 126 (2026-02-16 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- usbank.com/wealth-management.htmlreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-888-4700reportedpublic record, Form ADV, Jul 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026